BONNEVILLE POWER ADMINISTRATION

**HUMAN RESOURCES, DIVERSITY & EEO**

**Portland, Oregon**

**PERSONNEL LETTER NO. 752-1 (Revised) DATE:** August 29, 2003

**SUBJECT:** Discipline, Adverse Actions, and Alternative Discipline

######## I. PURPOSE {#i.-purpose .unnumbered}

To inform managers/supervisors and employees of the forms of discipline
used in BPA, alternative discipline, disciplinary and non-disciplinary
adverse actions, and the conditions under which such actions may be
taken, and the procedures for taking such actions.

**II. PURPOSE OF REVISION**

> Appendix A, Guidance for Selecting Corrective Action, Corrective
> Action Guide, has been revised to include specific corrective action
> for situations where an employee fails to advise management when they
> have been medically diagnosed as having a highly contagious illness.
> Appendix B has been revised to delegate to managers the authority to
> place an employee in a paid, non-duty status in certain situations and
> under certain conditions when an employee has a highly contagious
> illness. This Personnel Letter supercedes Personnel Letter 752-1,
> Discipline, Adverse Actions, and Alternative Discipline, dated
> February 21, 2003.

**III. COVERAGE**

This Personnel Letter incorporates all applicable provisions regarding
the coverage and exclusion of employees as specified in 5 CFR, Part 752,
Adverse Actions, for suspensions and adverse actions, and any
alternative discipline issued in lieu of these actions. Instructions on
admonishments, reprimands, and any alternative discipline issued in lieu
of an admonishment or reprimand, may be applied to all BPA employees.

######## IV. REFERENCES  {#iv.-references .unnumbered}

A.  5 U.S.C., Chapter 43, Performance Appraisal

B.  5 U.S.C., Chapter 75, Adverse Actions

C.  5 U.S.C., Chapter 77, Appeals

D.  5 CFR, Part 432, Performance-Based Reduction in Grade and Removal
    Actions

E.  5 CFR, Part 752, Adverse Actions

F.  5 CFR, Part 1201, Merit Systems Protection Board Practices and
    Procedures

G.  BPAM Chapter 400/700A, Employee Relations Program

H.  BPA Management Assistance Services (MAS) Handbook

I.  Personnel Letter 213-1, Student Career Experience Program

J.  Personnel Letter 315-1, Probationary Periods for New Managers and
    Supervisors

K.  Personnel Letter 315-2, Probationary or Trial Periods for New
    Employees

L.  Personnel Letter 316-1, Temporary Limited Appointments

M.  Personnel Letter 293-3, Employee Relations Case Files

N.  Personnel Letter 339-7, Medical Evaluation of Employees and
    Applicants

O.  Personnel Letter 430-1, Performance Appraisal

P.  Personnel Letter 432-1, Taking Action Based on Unacceptable
    Performance

Q.  Personnel Letter 531-1, Requirement for Granting and Denying
    Within-Grade Increases

R.  Personnel Letter 752-2, Guidance on Violent and Threatening Behavior
    in the Work Place

S.  Personnel Letter 793-1, Alcohol Testing Implementation Plan

**V. DEFINITIONS**

A.  [Admonishment]{.underline}. An informal rebuke or warning issued to
    an employee orally and/or in writing.

B.  [Adverse Action]{.underline}. A removal, reduction in grade or pay,
    suspension for more than 14 calendar days, or furlough for 30 days
    or less.

C.  [Alternative Discipline]{.underline}. An agreement developed between
    the employee and BPA in which the employee agrees to an alternative
    penalty and/or performance of volunteer service or a special
    project, etc., and waives all rights to appeal. Alternative
    discipline is used when it is believed that corrective action, less
    than the traditional disciplinary procedures, will affect a change
    in conduct/behavior.

D.  [Days]{.underline}. For purposes of this Personnel Letter, "days"
    mean calendar days.

E.  [Discipline]{.underline}. Formal action taken in order to correct
    misconduct or misbehavior. "Discipline" is an inclusive term
    referring to reprimands, suspensions, demotions, and removals taken
    for misconduct.

F.  [Furlough]{.underline}. Placing an employee in a temporary status,
    without duties and pay, because of lack of work or funds, or for
    other non-disciplinary reasons.

G.  [Indefinite Suspension]{.underline}. The temporary removal of an
    employee from work and pay status pending an investigation, inquiry,
    or further agency action. The indefinite suspension continues for an
    indeterminate period of time and ends with the occurrence of the
    pending conditions set forth in the notice of action, or during
    notice of adverse action.

H.  [Non-Disciplinary Adverse Action]{.underline}. An adverse action
    taken for non-conduct related reasons, such as for physical
    inability to perform, inability to maintain a regular

> full-time work schedule, performance difficulties, etc.

I.  [Performance-Based Action]{.underline}. Action taken based on
    unacceptable or inefficient performance of duties.
    (Performance-based actions can be taken under procedures in this
    Personnel Letter, or under procedures in Personnel Letter 432-1.)

J.  [Reduction in Grade or Pay]{.underline}. Actions taken that change
    an employee involuntarily from a position at one grade and rate of
    basic pay to another position at a lower grade or rate of basic pay.

K.  [Removal]{.underline}. The involuntary separation of an employee
    from employment with the BPA and the Federal Civil Service.

L.  [Reprimand]{.underline}. A written statement of formal censure
    issued to an employee for misconduct.

M.  [Suspension]{.underline}. The temporary removal of an employee from
    work and from a pay status for disciplinary purposes.

######## VI. POLICY AND RESPONSIBILITIES {#vi.-policy-and-responsibilities .unnumbered}

BPAM Chapter 400/700A, Employee Relations Program contains:

-   BPA's policy regarding its employee relations program including
    discipline, alternative discipline, adverse actions,
    performance-based actions, within-grade increase denials,
    terminations during probationary and trial periods, and from
    temporary appointments, and

-   Delegated authorities for taking these actions***.***

**VII. CONFIDENTIALITY AND TIMELINESS OF CORRECTIVE ACTIONS**

Corrective actions are personal matters and, to the extent feasible
under the circumstances, should be accomplished in private. Interviews
and inquiries concerning such actions are conducted privately and in
such a manner as to minimize personal embarrassment. The minimum number
of persons possible consistent with the need for sound fact-gathering,
and internal coordination and labor management relations obligations,
should be involved in, or made party to, the action.

Investigation of situations that could lead to corrective action should
be initiated as soon as possible while information is fresh and readily
available. When an employee properly invokes his/her right to union
representation (Weingarten right) during an investigatory discussion
with the employee, management will honor such right. Normally a
corrective action should be initiated after such investigations are
completed and management has had a reasonable period to review the
resulting reports.

**VIII. EFFICIENCY OF THE SERVICE AND THE CONCEPT OF NEXUS**

No suspension or adverse action may be taken against an employee unless
it is for such cause as will promote the efficiency of the service. An
action will generally "promote the efficiency of the service" if there
is a rational connection (i.e., nexus) between the efficiency of the
service and (a) the employee's misconduct in disciplinary actions, or
(b) the employee's problem in non-disciplinary actions (e.g., physical
inability to perform). In other words, if the conduct may reasonably be
expected to interfere with the ability of the person to function in the
position or the agency's ability to discharge its responsibilities, it
interferes with the efficiency of the service.

**IX. DISCIPLINE**

A. [Purpose]{.underline}. Discipline is a tool that supervisors and
managers can use to enforce the rules, regulations, and work
requirements that allow BPA to accomplish its mission in an efficient,
productive, and orderly manner.

Discipline is used to ***correct*** inappropriate behavior, ***not to
punish*** employees. The objective is correction and rehabilitation.
Action must be fair, equitable, and impartial. Generally, the goal is to
administer the lowest level of discipline needed to correct the problem,
so that the same conduct/behavior will not be repeated. Appendix A
provides guidance in this regard, recognizing that each situation is
usually unique.

B. [Progressive Discipline]{.underline}. BPA follows an approach called
\"progressive discipline.\" Progressive discipline means that if an
employee continues to engage in unacceptable conduct, the actions taken
by management to correct the problem will become more severe after each
instance. Repeated infractions are prima facie evidence that the
previous disciplinary action was insufficient to bring about correction,
and more severe corrective actions shall normally be assessed in such
cases.

> Appendix A to this Personnel Letter provides guidance for selecting
> the appropriate corrective action.

C. [Admonishment]{.underline}. An admonishment is an informal warning
issued to an employee orally and/or in writing in an attempt to correct
misconduct. It is not considered to be formal discipline. (It is
included under the discipline section of this Personnel Letter because,
in some cases, it is a preliminary step to formal discipline.)

> There is no prescribed format for an admonishment. It may be oral or
> written. It is not filed in the employee\'s Official Personnel Folder
> (OPF), and does not require establishment of a disciplinary record
> file. It does not carry the regulatory right of reply or appeal by the
> employee; however, employees are not precluded from filing a grievance
> over the matter. The admonishment is a valuable tool in situations
> where an employee should be informed specifically of deficiencies in
> performance or conduct that could lead to formal disciplinary action,
> if continued, and the conduct expectations required for the employee
> to correct the deficiencies. When used, an admonishment should be
> identified as such to the employee by the supervisor. Admonishments
> should not be confused with normal performance discussions or the
> counseling inherent in day-to-day supervision.

Notes regarding an oral admonishment, or a copy of a written
admonishment issued to an employee, shall be maintained by the
administering manager/supervisor. This documentation will later become
part of the employee\'s disciplinary record if it is used to
substantiate subsequent discipline. One of the better techniques to
accomplish documentation of an oral admonishment is to write a
confirming memorandum for the file and give a copy of the memorandum to
the employee.

> A manager/supervisor may also want to document any discussion with an
> employee regarding performance or conduct, even though it does not
> take the form of an admonishment, and may furnish a copy to the
> employee.

D. [Letter of Reprimand]{.underline}. The first and least severe form of
formal discipline. The letter of reprimand should be used in those
situations that require an action more stringent than an admonishment.
In some situations, a letter of reprimand may be the last step in a
progression of penalties before removal if the employee has been given a
clear warning that a further offense could lead to removal. Depending on
the seriousness of the offense, it is not necessary to issue a reprimand
prior to progressing to more severe disciplinary action.

The letter of reprimand shall be clearly identified as a reprimand
(i.e., opening statement should state, "This is an official letter of
reprimand for . . ."). It should clearly specify the nature of the
infraction or transgression, including information related to that
reason such as times, dates, and circumstances that required the
corrective action to be taken. It should inform the employee of all time
limits, the right to file a grievance, where to seek assistance
regarding the grievance procedure, and the right to representation. The
letter of reprimand must be reviewed by the Employee Relations staff for
appropriateness and technical accuracy before being given to the
employee. This letter will be filed in the OPF for a period of not to
exceed 1 year or until the employee leaves the Department of Energy,
whichever is earlier, or it may be removed earlier, whenever the
official issuing the reprimand so directs. See section XIII, below,
regarding procedures for tracking and removing reprimands from OPFs.

E. [Suspension for 14 Days or Less]{.underline}. A suspension from duty
for 14 days or less involves an employee being formally directed to
remain away from work for a specified period of time, without pay.
Suspensions are used to correct serious or repeated misconduct or
violations of local, State, or Federal law, an agency rule or
regulation, or administrative instructions and procedures. A suspension
is an appropriate disciplinary measure when less severe disciplinary
actions fail to correct an employee's conduct, or when the gravity of
the offense warrants stringent corrective action. Suspensions are
recorded permanently in an employee\'s OPF. The suspension process
involves the issuance of a notice of proposed action to the employee and
a subsequent decision to the employee.

1.  [Letters of Proposed Suspension]{.underline}. A proposed suspension
    for 14 days or less must indicate clearly that it is a proposal
    rather than a final decision, and that the final decision will not
    be made until after receipt of the employee\'s reply or after the
    expiration of the time period for reply if no reply is made. It
    shall also inform the employee where and to whom the reply shall be
    directed and the employee\'s right to:

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a.  Review the material supporting the action proposed in the notice.
    (Depending upon the nature of the disciplinary action, it may be
    advisable to include copies of all supporting material with the
    letter. Proposing officials should consult the Employee Relations
    staff regarding the necessity for this.)

b.  A reasonable time to answer (usually 10 days, but not less than
    24 hours) orally and in writing and to furnish affidavits and other
    documentary evidence in support of the answer.

c.  Be represented by an attorney or other representative.

2\. [Letter of Decision]{.underline}.

a.  The letter of decision shall be issued as soon as practical after
    the receipt and consideration of the employee\'s reply, or after
    expiration of the time allocated for the employee\'s answer to the
    Letter of Proposed Suspension. In arriving at the written decision,
    only the reason(s) specified in the letter of proposed action and
    any response by the employee or his/her representative will be
    considered.

b.  The decision shall state which reasons were relied upon and which
    were not (tell the employee which reasons in the proposed letter
    were determined to be valid and which were dismissed and why), and
    if the proposed suspension is determined to be warranted, the
    effective date of the action. No new reasons may be added to the
    letter of decision.

c.  The letter must state the employee\'s grievance rights and who to
    contact regarding these rights.

F. [Adverse Action taken for Disciplinary Reasons]{.underline}. Adverse
actions (i.e., removals, reductions in grade or pay, and suspensions of
more than 14 calendar days) taken for disciplinary reasons can be used
to correct serious or repeated misconduct or violations of local, State
or Federal law, an agency rule or regulation, or administrative
instructions and procedures. A disciplinary adverse action is an
appropriate measure when less severe disciplinary actions fail to
correct an employee's conduct, or when the gravity of the offense
warrants such corrective action. Adverse action procedures are described
below in section X.

G. [Additional Guidance]{.underline}. Additional guidance regarding
corrective action for misconduct, including sample letters, is located
in the MAS Handbook. All formal discipline, including proposal and
decision letters, must be reviewed by the Employee Relations staff for
appropriateness and technical accuracy before being given to the
employee. Letters of admonishment may also be reviewed by the Employee
Relations staff prior to issuance.

**X. ADVERSE ACTIONS**

A. [Actions Covered]{.underline}. For purposes of this section, an
adverse action is a removal, a reduction in grade or pay, or a
suspension of more than 14 calendar days effected for either
disciplinary or non-disciplinary reasons, as well as a furlough for 30
days or less.

1\. [Removal]{.underline}. A removal action, terminating the
employer-employee relationship, is an involuntary separation based on
the decision of a BPA official exercising delegated authority. A removal
action can be initiated for both disciplinary and non-disciplinary
reasons.

2\. [Suspensions of more than 14 days]{.underline}. For purposes of this
section, a suspension is the involuntary placement of an employee in a
non-duty, non-pay status for a period of more than 14 calendar days.

3\. [Indefinite Suspension]{.underline}. The indefinite suspension may
be used pending further investigation or pending judicial disposition of
a criminal matter (where there is insufficient evidence available to
warrant removal or where disclosure of the evidence would jeopardize
prosecution of the criminal case).

4\. [Furlough for 30 Days or Less]{.underline}. A furlough for 30 days
or less is a

non-disciplinary adverse action placing an employee in a temporary
non-duty and non-pay status. A furlough action may be taken on the basis
of lack of work or funds, or on the basis of an emergency situation
affecting plant equipment or materials. Furloughs for more than 30
calendar days are reduction in force actions processed under 5 CFR, Part
351, Reduction In Force. The advance written notice and opportunity to
answer are not necessary for

furlough-without-pay due to unforeseeable circumstances such as sudden
breakdowns in equipment, acts of God, or sudden emergencies requiring
immediate curtailment of activities.

5\. [Reductions in Grade or Pay]{.underline}. A reduction in grade
occurs when an employee is moved to a position of lower grade under the
classification system or BPA hourly job standards. A reduction in pay
occurs when the basic rate of pay of an employee is reduced
involuntarily (i.e., not requested by the employee for personal reasons
or for the employee's benefit). This excludes the loss of any
differentials such as night work, overtime, hazardous duty, holiday pay,
per diem, etc. A reduction-in-grade or pay can be for non-disciplinary
or disciplinary reasons. Reductions-in-grade which entitle annual
employees to grade retention under 5 CFR, Part 536, Grade and Pay
Retention, are not covered by this section, nor are reductions for
hourly employees for similar reasons.

#  B. [Disciplinary versus Non-Disciplinary Adverse Actions]{.underline}. {#b.-disciplinary-versus-non-disciplinary-adverse-actions. .unnumbered}

1\. Adverse actions for disciplinary reasons are appropriate:

a\. When previously administered disciplinary actions have not served to
prevent repetition of misconduct;

> b\. When employee conduct is sufficiently serious to warrant
> termination of the employment relationship (e.g., serious violations
> of the Federal or State Criminal Code, corruption, substantive
> conflict of interest, physical assault, etc.); or
>
> c\. When required by statute.

2\. Adverse actions for non-disciplinary reasons include:

> a\. Failure to accept geographical or organizational reassignment;
>
> b\. Inefficiency in performance of duties (in cases where procedures
> under 5 CFR, Part 432, Performance-Based Reduction in Grade and
> Removal Actions, are not applicable[^1]);
>
> c\. Mental or physical disability;
>
> d\. Failure to maintain a regular tour-of-duty when absences are
> caused by illness;
>
> e\. Failure to retain required qualifications;
>
> f\. Demotion resulting from a reclassification action for annual
> employees, which results in a loss of grade or pay, but no entitlement
> to grade retention;
>
> g\. Reduction in the number of hours of duty per week for a part-time
> employee; or
>
> h\. Furlough because of lack of funds or work.

C. [Adverse Action Procedures]{.underline}. The regulatory and statutory
requirements when taking adverse actions under Title 5, U.S.C., Chapter
75, Adverse Actions, and 5 CFR, Part 752,Adverse Actions, are provided
below. Adverse actions are recorded permanently in an employee\'s
Official personnel File (OPF.) The adverse action process involves the
issuance of a proposal and a decision.

1.  [Letter of Proposed Action]{.underline}.

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a.  The letter of proposed action must state the specific action
    proposed. Caution should be exercised in deciding on the specific
    action proposed since the decision in the case cannot impose a more
    severe penalty than originally proposed.

b.  It must clearly state the reason(s) for proposing the action and
    include the specific information that supports the reason, such as
    times, dates, and circumstances.

c.  If the reason(s) involves conduct off the job, the proposal letter
    must state the nexus (connection) to the efficiency of the service.

d.  It shall inform the employee that, if the proposed action is taken,
    it will not become effective earlier than 30 days from the date of
    receipt of the notice. (This 30-day period is called the "advance
    notice period.")

e.  It is highly recommended that the applicable "Douglas Factors" be
    addressed in the proposal letter. These factors are listed in
    Appendix A.

f.  The letter shall inform the employee of his/her right to:

-   Review the material supporting the reason(s) for the action proposed
    in the notice. (Copies of all supporting material may be enclosed
    with the letter of proposal or be readily available to the
    employee.)

-   A reasonable time, normally 15 days, but not less than 7 days, to
    answer orally and in writing and to furnish affidavits and other
    documentary evidence in support of the answer.

-   Be represented by an attorney or other representative.

g\. It shall inform the employee of his/her work status during the
30-day advance notice period. Under ordinary circumstances, an employee
whose removal or suspension, including indefinite suspensions, has been
proposed shall remain in a duty status in his or her regular position.
In those rare circumstances when the agency determines that the
employee's continued presence in the workplace during an adverse action
notice period may pose a threat to the employee or others, result in
loss or damage to Government property, or otherwise jeopardize
legitimate Government interests, management may elect one or a
combination of the following alternatives.

-   Assign the employee to duties where he/she is no longer a threat to
    safety, the BPA mission, or Government property;

-   Allow the employee to take leave, or carry him/her in appropriate
    leave status (annual, sick, leave without pay) with the employee's
    consent. If the employee is absent from the work site without
    approved leave, the absence may be recorded as absence without leave
    (AWOL);

-   Use authority to curtail the notice period if BPA has reasonable
    cause to believe that the employee has committed a crime for which a
    sentence of imprisonment may be imposed; or

-   Place the employee in a paid, non-duty status for such time as is
    necessary to effect the action, based on the authority in 5 CFR,
    Part 752. THIS IS AN OPTION OF LAST RESORT. If an organization
    wishes to place an employee in a paid, non-duty status under5 CFR,
    Part 752, the procedures in Appendix B must be followed.

h.  It shall clearly indicate that the letter is a proposal, and that a
    final decision will not be made until after receipt of the
    employee\'s reply or after expiration of the time period for reply.

i.  It shall also inform the employee that he/she has a reasonable time
    (e.g., 15 days) in which to answer orally and/or in writing. Also,
    the following shall be addressed in the letter: 1) the name of the
    official to whom any written reply should be sent; 2) the address to
    which it should be sent; and 3) if an oral reply is desired, to whom
    a request for an oral reply should be sent. The person designated to
    receive the employee\'s written reply and hear the employee\'s oral
    reply shall have the authority to make a final decision on the
    proposed adverse action. Oral Reply Guidelines are in Appendix C.

j.  It shall also state that if the employee wishes BPA to consider any
    medical condition that contributed to his/her conduct/behavior,
    performance, or leave problem, the employee shall be given a
    reasonable time to furnish medical documentation (as defined in 5
    CFR 339.104).

2\. [Letter of Decision]{.underline}.

a.  The letter of decision shall be issued as soon as practical after
    the receipt and consideration of the employee\'s reply or after
    expiration of the time allocated for the employee\'s answer to the
    Letter of Proposed Suspension. In arriving at the decision, only the
    reason(s) specified in the notice of proposed action along with
    supporting documentation, and any response by the employee and/or
    his/her representative will be considered.

b.  The decision shall state which reason(s) and specification(s), if
    applicable, were sustained (i.e., which were determined to be
    valid), if the proposed action is determined to be warranted, and
    the effective date of the action. If a reason was not addressed in
    the proposal letter, it may not be considered and included in the
    decision letter. It is also highly recommended that the applicable
    "Douglas Factors" be addressed in the decision letter.

c.  The decision shall contain information regarding applicable
    grievance, appeal and representation rights, and the name of the
    individual whom the employee may contact concerning appeal rights
    and procedures.

d.  The effective date of the action. The decision must be delivered to
    the employee at or before the time the action becomes effective.

######## XI. ALTERNATIVE DISCIPLINE {#xi.-alternative-discipline .unnumbered}

A.  [Purpose]{.underline}. Many organizations have reported success
    using alternatives to traditional disciplinary actions, as
    appropriate. The key consideration is what action will be most
    effective in correcting employee conduct and behavior while
    contributing to the efficiency of the service. Traditional penalties
    sometimes have the effect of compounding problems (e.g., suspending
    someone from duty and pay for not showing up to work). Alternative
    discipline (AD) permits the use of creative solutions while
    maintaining the effect of progressive discipline if there is future
    misconduct. In addition, although AD is offered solely at the
    discretion of management, it provides employees with an opportunity
    to become actively involved with supervisors/managers in fashioning
    creative acceptable agreements to resolve

> work-related issues.

B.  [Employees Covered]{.underline}. Employees are covered as indicated
    in section III, above, though management has sole discretion to
    allow resolution of unacceptable conduct issues through AD
    agreements. These procedures confer no additional rights to
    employees beyond those already established.

C.  [Matters Covered]{.underline}. Except for those matters specifically
    excluded below,

> supervisors/ managers may consider offering AD agreements in instances
> where some action other than traditional disciplinary action is likely
> to effect a positive change in an employee's behavior. When
> considering whether to enter into an AD agreement,
> supervisors/managers should consider whether the agreement would
> promote the efficiency of the service, and not adversely affect other
> employees.
>
> Supervisors/ managers may consider using an AD agreement as a means
> for forming a "last chance" agreement in lieu of removing an employee
> from BPA for unacceptable conduct.

> AD agreements should not be used to address instances of egregious
> activity (such as criminal conduct or offenses prescribed in a
> statute), performance-based actions, or where the employee will not
> admit to having engaged in the identified unacceptable conduct.

D.  [Procedures]{.underline}. Before entering into an AD agreement with
    > an employee the supervisor/manager must first seek assistance from
    > the Employee Relations staff. All agreements must be reviewed by
    > the Employee Relations staff to ensure that the conditions of the
    > agreement are in compliance with AD procedures. AD agreements may
    > be used as follows:

    > 1\. [In Lieu of a Proposal to Discipline]{.underline}. The
    > proposing official completes an AD agreement in lieu of proposing
    > disciplinary action. In this type of agreement, the proposing
    > official identifies the disciplinary action that would be proposed
    > if the terms of the agreement were not fulfilled by an employee.

    > An employee is provided with an opportunity to review the
    > agreement to make an informed choice between traditional
    > discipline and AD. The proposing official and the employee should
    > meet to discuss the expectations of the agreement and make any
    > agreed upon amendments. The agreement shall note the employee's
    > right to consult with a union or other representative before
    > voluntarily choosing AD.

    > An employee voluntarily agrees to waive entitlement to certain
    > disciplinary procedures normally required of management, except
    > for the employee's right to a representative, as outlined in
    > section XV, below. If the employee fails to fulfill the conditions
    > of the agreement, the disciplinary action identified in the
    > written analysis could be imposed immediately by management. The
    > proposing official must ensure that the rights being waived are
    > explicitly spelled out in the agreement. (See the MAS Handbook for
    > a sample agreement.)

    > 2\. [After a Proposal to Discipline Has Been
    > Initiated]{.underline}. The deciding official may offer an AD
    > agreement after the proposal for discipline has been issued, but
    > prior to the issuance of a decision notice. For example, in a case
    > involving a suspension, the deciding official may find that, even
    > though the disciplinary action is warranted based on the
    > circumstances, the employee has expressed significant remorse for
    > his/her actions during the employee's response to the proposed
    > disciplinary action. The deciding official may then agree to hold
    > the suspension in abeyance pending successful completion of the AD
    > agreement. If the employee fully complies with the terms of the
    > agreement, the suspension will be dealt with in the manner
    > specified in the agreement (e.g., canceled, left in the OPF as a
    > "paper suspension", etc.). If the employee fails to satisfy the
    > terms of the agreement, the suspension will be immediately
    > imposed. (See the MAS Handbook for a sample agreement.)

E. [Manager and Employee Responsibility]{.underline}. An employee may
express a preference to the proposing or deciding official for entering
into an AD agreement. However, the supervisor/manager must agree as to
whether an AD agreement is an effective means for correcting the
employee's unacceptable conduct. Both the supervisor/manager and
employee are responsible for adhering to the terms and conditions in the
AD agreement. The employee must comply with the corrective measures set
forth in the agreement. The supervisor/manager must ensure that those
measures needed for reform are reasonable and within the capability of
the employee to accomplish and do not interfere with the efficiency of
the service.

F. [Alternative Discipline Options]{.underline}. The AD agreement must
specify the terms and conditions for successful completion of the
agreement. There are numerous types of alternative "penalties" that can
be agreed upon, provided they are not contrary to law or regulation
(e.g., contributing work time without compensation). Examples of
possible alternative "penalties", depending upon the nature and
seriousness of the offense, include, but are not limited to, any
combination of the following:

## Written or verbal apologies;

-   Financial restitution;

-   Donation of specific amount of leave to a leave transfer recipient;

-   Taking Leave-Without-Pay in lieu of a suspension-without-pay;

-   A reduced suspension-without-pay from the traditional discipline
    that would have been imposed, or a split suspension;

-   A traditional suspension-without-pay that is effected a couple days
    at a time spread over several pay periods to reduce financial impact
    on the employee;

-   Effecting all or part of a suspension on an employee's non-scheduled
    workday;

-   Completion of an EAP-approved or recommended rehabilitation or
    education program;

-   Participation in training covering the specified problem;

-   Research and write a report on violated rules or regulation;

-   Changing working conditions (e.g., start/stop times, credit hours,
    etc.);

-   Letter of warning in lieu of a suspension;

-   Verifiable community service within a specified period;

-   Removal held in abeyance (i.e., "Last Chance Agreement"); and/or

-   Alternative traditional penalties that are appropriate to the
    offense.

G. [Content of the Agreement]{.underline}. Typical features of an AD
agreement between the employee and management are:

-   An accurate and full description of the employee's offense (if
    applicable, a copy of the proposal to discipline letter should be
    attached to the agreement);

-   Employee's admission of wrong-doing, acknowledging that he/she
    accepts responsibility for it;

-   Employee's promise to modify his/her behavior, and other terms and
    conditions as agreed to by the supervisor and the employee, that
    must be met for the employee to satisfactorily fulfill the
    agreement;

-   Notation of the specific traditional disciplinary penalty and the
    specific AD;

-   Acknowledgment that the AD will count as a prior offense for
    progressive discipline purposes;

-   A statement that the employee's failure to satisfactorily fulfill
    the agreement will result in its cancellation, including the
    consequences of the cancelled agreement (e.g., immediate imposition
    of disciplinary action);

-   Notification of the possible penalty for a subsequent offense;

-   A waiver of rights to dispute the action (and any identified related
    matters) in any forum;

-   A statement that the agreement is non-precedential and may not be
    cited for any reason, including comparison, in any other proceeding,
    in any forum except when cited in a subsequent disciplinary action
    involving the employee;

-   A statement that the agreement was voluntarily entered into by the
    employee and the agency; and

-   Signatures of the employee and the manager/supervisor.

## **XII. DELIVERY OF LETTERS AND AGREEMENTS** {#xii.-delivery-of-letters-and-agreements .unnumbered}

> When practical, all letters of proposal, decision, and reprimand
> should be delivered personally and read or explained to the employee.
> A letter shall be written in a manner that is as clear as possible so
> that the employee will understand its meaning and impact. An attempt
> should be made to have the employee acknowledge receipt in writing on
> a copy of the notice. In cases where it is difficult or impossible to
> reach the employee in person, the notice should be transmitted by
> certified mail, with a return receipt requested, and a copy sent via
> first class mail. As an option, notices can be delivered by a process
> server. All letters of decision must be delivered to the employee at
> or before the time the action becomes effective.

> An employee should be given a copy of his/her AD Agreement as soon as
> all parties sign.

######## XIII. RECORDING AND MAINTAINING ACTIONS {#xiii.-recording-and-maintaining-actions .unnumbered}

A.  [Employee Relations Case Files]{.underline}. Case files are retained
    by the Employee Relations staff. Files include copies of the letter
    of proposed action, the written reply, if submitted, the oral reply
    summary, as applicable, the decision letter, AD agreements, and any
    supporting material. A record should also be made of the
    circumstances of each case, including the date of delivery of
    notices and the sequence of any pertinent events. See Personnel
    Letter 293-1, Employee Relations Case Files.

B.  [Background Records]{.underline}. The background records of actions
    (excluding the SF 50, Notice of Personnel Action) are not filed in
    the OPF. They are kept in a separate file that is incorporated in
    the appeal or grievance file if the employee appeals or grieves the
    action.

C.  [Admonishments]{.underline}. If the supervisor admonishes an
    employee in writing or writes a memorandum confirming the substance
    of an oral admonishment, a copy shall be furnished to the employee.
    Memorandums of admonishment shall not be filed in the OPF.

D.  [Letters of Reprimand]{.underline}. A copy of the letter of
    reprimand shall be filed in the OPF for a period not to exceed 1
    year, or until the employee leaves the department, whichever is
    earlier, or it may be removed earlier whenever the official issuing
    the reprimand so directs. The Employee Relations staff will track
    letters of reprimand, and remove them from OPFs during the month and
    year they expire. Once removed, the OPF copies will be destroyed.

E.  [Permanent Records]{.underline}. The SF 50, Notice of Personnel
    Action, recording an adverse action or a suspension of 14 days or
    less, is maintained as a permanent record in the employee\'s OPF.

F.  [Alternative Discipline Agreements]{.underline}. Agreements are
    filed on the left side of the OPF for the term specified in the
    agreement. If the AD agreement imposes some form of formal
    disciplinary action, records of these actions will be maintained in
    accordance with the instructions in this section, above. If the
    agreement provides that records are to be maintained in a manner
    other than as described in this section, the provisions of the
    agreement will be controlling.

######## XIV. OFFICIAL TIME {#xiv.-official-time .unnumbered}

An employee who is issued a notice of proposed disciplinary action shall
be given a reasonable amount of official time to review the material
relied on to support the action, to prepare an answer, and to secure
affidavits, if he/she is otherwise in an active duty status.

A reasonable amount of official time may be granted by an employee's
supervisor/manager, at his/her discretion, to prepare and present
information during the AD agreement process. If the supervisor/manager
has decided not to offer or agree to AD, approval of official time to
pursue this option is not allowable.

######## XV. REPRESENTATION {#xv.-representation .unnumbered}

Employees who have received a notice of proposed disciplinary action are
entitled to be represented by an attorney or other representative and
may be accompanied by an attorney or representative when making an oral
reply to the notice, or when discussing AD in lieu of the proposed
disciplinary action. If an employee of the department is selected as a
representative and that person is willing to serve, the
representative\'s manager, acting independently or in concert with the
manager of the selecting employee, may disallow the employee\'s choice
on the basis that the:

-   Individual's activities as a representative would cause a
    conflict-of-interest or position;

-   Release of the employee from his/her official position would give
    rise to unreasonable costs to the Government; or

-   Individual's priority work assignments preclude his/her release from
    official duties.

These provisions do not apply if the representative is a bargaining unit
representative.

**XVI. APPEALS AND GRIEVANCES**

A.  [Reprimands and Suspensions of 14 Days or Less]{.underline}. Letters
    of reprimand and suspension of 14 days or less are grievable under
    the appropriate negotiated grievance procedure. If there is no
    applicable negotiated procedure, then the provisions of Personnel
    Letter 771-1, Administrative Grievance Procedures, apply. The time
    limits in these procedures must be strictly followed.

B.  [Adverse Actions]{.underline}. Suspensions of more than 14 days,
    demotions, and removals may be appealed to the Merit Systems
    Protection Board by:

-   Competitive service employees not serving a probationary or trial
    period;

-   Preference eligibles in the excepted service with 1 year or more of
    continuous service in the same or similar position; and

-   Employees in the excepted service other than preference eligibles,
    who are not serving a probationary or trial period under an initial
    appointment pending conversion to the competitive service, or who
    have completed 2 years of current continuous service in the same or
    similar job/position other than a temporary appointment limited to 2
    years or less.

As an alternative, bargaining unit employees may grieve such matters
through the negotiated grievance procedure, if the procedure does not
preclude such grievances.

C.  [Alternative Discipline Agreements]{.underline}. In AD agreements,
    employees waive the right to dispute the action (and any identified
    related matters) in any forum.

Godfrey C. Beckett

Manager, Human Resources, Diversity & EEO

3 Attachments:

Appendix A -- Guidance for Selecting Corrective Action

Appendix B -- Procedures for Approving Paid Non-Duty Status

Appendix C -- Oral Reply Guide

**APPENDIX A**

**[GUIDANCE FOR SELECTING CORRECTIVE ACTION]{.underline}**

This Appendix consists of two main sections: 1) *Factors to Consider in
Deciding an Adverse Action*, and 2) *Corrective Action Guide*. The
Appendix provides general guidance for determining appropriate
corrective action. It is not intended to replace supervisory/managerial
judgment or dictate the selection of corrective actions. **[Mechanical
use of this guidance must be avoided]{.underline}*.***

The *Factors to Consider in Deciding an Adverse Action* consists
primarily of considerations initially identified in the Merit Systems
Protection Board decision, Douglas vs. Veterans Administration (1981).
The *Corrective Action Guide* is a general guide for determining
appropriate corrective action for a variety of offenses. Many of the
common offenses of regulations and conduct are listed and explained. The
Guide is not intended to list all potential situations requiring
corrective action. It does not dictate the specific corrective action to
be assessed in a particular situation. It reflects the relative severity
of various offenses and establishes the range within which corrective
actions usually fall.

As indicated in the text of this Personnel Letter (i.e., Personnel
Letter 752-1), BPA follows an approach called "progressive discipline."
A progression of corrective actions means the application of
increasingly more severe corrective actions as the employee continues to
breach the employment relationship. It is not necessary to establish
that prior offenses of regulation or conduct under consideration were of
the same nature as the current offense in order to progress with
discipline.

Prior to selecting a corrective action, supervisors/managers must seek
assistance and guidance from the Employee Relations staff.

######## A. [Factors to Consider in Deciding an Adverse Action]{.underline}[^2] {#a.-factors-to-consider-in-deciding-an-adverse-action .unnumbered}

After careful, thorough, and impartial review of the entire suspension
or adverse action file, the deciding official determines, with
**assistance from the Employee Relations staff**:

-   **Did the misconduct occur?** Did the employee commit the acts
    outlined in the reasons and specifications (i.e., are the reasons
    and specifications supported by a preponderance of the evidence)?

-   **Is there a nexus to the efficiency of the service?** An action
    taken against an employee for misconduct must promote the efficiency
    of the service. If the misconduct occurred on the job, there is
    generally a presumed nexus (i.e., rational connection). If off-duty
    misconduct is reasonably expected to interfere with the ability of
    the person to function in his/her position or if it interferes with
    the agency's ability to discharge its responsibilities, there may be
    a nexus to the efficiency of the service.

-   **What is the appropriate penalty for the misconduct?** What
    particular penalty is appropriate insofar as it will serve to
    promote the efficiency of the service? Review the entire guidance in
    this Appendix, including the *Corrective Action Guide*, below.
    Mitigating factors must be considered and the deciding official must
    conclude that the penalty is appropriate. Factors include any raised
    by the employee or the employee's representative, as well as any of
    the following (known as the "Douglas Factors") that may be
    pertinent.

With assistance from the Employee Relations staff, consider information
relevant to the following **"Douglas** factors." It is highly
recommended that discussion of any significant considerations be
included in the proposal and decision letters. Not all factors apply in
every case. One or more factors may outweigh all others in some
situations. Other factors that are related to the case, but not listed
below, may also be considered in determining the appropriate penalty.
The Employee Relations staff will provide assistance in documenting any
considerations in the proposal and decision letters.

1\. The nature and seriousness of the offense, and its relation to the
employee's duties, position, and responsibilities, including whether the
offense is 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\. The notoriety of the offense or its impact upon the reputation of
the agency;

8\. 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;

9\. Potential for the employee's rehabilitation;

10\. 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

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

######### Corrective Action Guide {#corrective-action-guide .unnumbered}

+----+-----------------------------+----------------+----------------+
| *  | ####### **C                 | #####          |                |
| *N | ause** {#cause .unnumbered} | Action {#actio |                |
| o. |                             | n .unnumbered} |                |
| ** |                             |                |                |
+----+-----------------------------+----------------+----------------+
|    |                             | ###### **Fi    | ###### **Su    |
|    |                             | rst Offense**  | bsequent Offen |
|    |                             | {#first-offens | se(s)** {#subs |
|    |                             | e .unnumbered} | equent-offense |
|    |                             |                | s .unnumbered} |
+----+-----------------------------+----------------+----------------+
| 1. | Delay or failure to carry   | Reprimand to   | Reprimand to   |
|    | out assigned work or        | 5-Day          | Removal        |
|    | supervisory instruction in  | Suspension     |                |
|    | a reasonable period of      |                |                |
|    | time.                       |                |                |
+----+-----------------------------+----------------+----------------+
| 2. | Refusal to comply with      | Reprimand to   | 5-Day          |
|    | proper orders; disregard of | Removal        | Suspension to  |
|    | directives or insolence.    |                | Removal        |
+----+-----------------------------+----------------+----------------+
| 3. | Unauthorized absence from   | Reprimand to   | 5-Day          |
|    | work.                       | 10-Day         | Suspension to  |
|    |                             | Suspension     | Removal        |
+----+-----------------------------+----------------+----------------+
| 4. | Failure to follow leave     | Reprimand to   | 5-Day          |
|    | approval procedures.        | 10-Day         | Suspension to  |
|    |                             | Suspension     | Removal        |
+----+-----------------------------+----------------+----------------+
| 5. | Loafing or sleeping on      | Reprimand to   | Reprimand to   |
|    | duty:                       | 5-Day          | Removal        |
|    |                             | Suspension     |                |
|    | a.  When hazard to          |                | 5-Day          |
|    |     personnel or property   | Reprimand to   | Suspension to  |
|    |     is not acute or when no | Removal        | Removal        |
|    |     injury or loss is       |                |                |
|    |     involved.               |                |                |
|    |                             |                |                |
|    | b.  When hazard to          |                |                |
|    |     personnel or property   |                |                |
|    |     is acute or when there  |                |                |
|    |     has been injury or      |                |                |
|    |     significant loss.       |                |                |
+----+-----------------------------+----------------+----------------+
| 6. | Careless work or negligence | Reprimand      | Reprimand to   |
|    | (exclusive of Cause 7).     |                | Removal        |
|    |                             | Reprimand to   |                |
|    | When consequences are       | 14-Day         | Reprimand to   |
|    | extreme, an attempt is made | Suspension     | Removal        |
|    | to conceal defective work   |                |                |
|    | or there is an unauthorized |                |                |
|    | attempt to remove or        |                |                |
|    | destroy work.               |                |                |
+----+-----------------------------+----------------+----------------+
| 7. | Careless work resulting in  | Reprimand to   | Reprimand to   |
|    | possible or actual minimal  | 5-Day          | Removal        |
|    | damage to property and      | Suspension     |                |
|    | minor disruption of         |                | Reprimand to   |
|    | mission.                    | Reprimand to   | Removal        |
|    |                             | Removal        |                |
|    | When possible or actual     |                |                |
|    | major damage to property is |                |                |
|    | involved with significant   |                |                |
|    | mission disruption or       |                |                |
|    | possible or actual danger   |                |                |
|    | to the lives or well being  |                |                |
|    | of other employees.         |                |                |
+----+-----------------------------+----------------+----------------+
| 8. | Loss or, damage to, or      | Reprimand to   | Reprimand to   |
|    | possession, or destruction  | Removal        | Removal        |
|    | of property, records, or    |                |                |
|    | information.                |                |                |
+----+-----------------------------+----------------+----------------+
| 9. | Theft, actual, or           | Reprimand to   | Reprimand to   |
|    | attempted.                  | Removal        | Removal        |
+----+-----------------------------+----------------+----------------+
| 10 | Misrepresentation,          | Reprimand to   | Reprimand to   |
| .  | falsification,              | Removal        | Removal        |
|    | exaggeration, or            |                |                |
|    | concealment of material     | Reprimand to   | Reprimand to   |
|    | fact in connection with any | Removal        | Removal        |
|    | official document; or       |                |                |
|    | withholding of material     |                |                |
|    | facts in connection with    |                |                |
|    | matters under official      |                |                |
|    | investigation.              |                |                |
|    |                             |                |                |
|    | Failure to cooperate in an  |                |                |
|    | official administrative     |                |                |
|    | investigation or            |                |                |
|    | fact-finding.               |                |                |
+----+-----------------------------+----------------+----------------+
| 11 | Rude, boisterous play which | Reprimand to   | Reprimand to   |
| .  | adversely affects           | 14-Day         | Removal        |
|    | production, discipline, or  | Suspension     |                |
|    | morale.                     |                |                |
+----+-----------------------------+----------------+----------------+
| 12 | Use of abusive or offensive | Reprimand to   | Reprimand to   |
| .  | language; quarreling or     | 14-Day         | Removal        |
|    | inciting to quarrel; or     | Suspension     |                |
|    | interfering with the        |                |                |
|    | production of others.       |                |                |
+----+-----------------------------+----------------+----------------+
| 13 | Fighting, threatening, or   | Reprimand to   | Reprimand to   |
| .  | inflicting bodily harm on   | Removal        | Removal        |
|    | another, hitting, pushing   |                |                |
|    | or other acts against       |                |                |
|    | another; physical           |                |                |
|    | resistance to competent     |                |                |
|    | authority or indecent or    |                |                |
|    | immoral conduct.            |                |                |
+----+-----------------------------+----------------+----------------+
| 14 | Gambling during working     | Reprimand      | Reprimand to   |
| .  | hours or while on           |                | Removal        |
|    | Government premises.        |                |                |
+----+-----------------------------+----------------+----------------+
| 15 | Operating, assisting in or  | Reprimand to   | 5-Day          |
| .  | promoting a gambling        | Removal        | Suspension to  |
|    | activity while on duty or   |                | Removal        |
|    | on Government premises.     |                |                |
+----+-----------------------------+----------------+----------------+
| 16 | Unauthorized possession,    | Reprimand to   | Removal        |
| .  | use, or distribution of     | Removal        |                |
|    | drugs or intoxicants.       |                | 5-Day          |
|    |                             | Reprimand to   | Suspension to  |
|    | a.  Selling, providing or   | Removal        | Removal        |
|    |     possessing any illegal  |                |                |
|    |     drug while on           |                |                |
|    |     Government property or  |                |                |
|    |     while on official duty. |                |                |
|    |                             |                |                |
|    | b.  Selling other           |                |                |
|    |     intoxicants or drugs    |                |                |
|    |     while on Government     |                |                |
|    |     property or while on    |                |                |
|    |     duty.                   |                |                |
+----+-----------------------------+----------------+----------------+
| 17 | Being impaired by           | Reprimand to   | 5-Day          |
| .  | intoxicants while on duty.  | Removal        | Suspension to  |
|    | Note 1                      |                | Removal        |
+----+-----------------------------+----------------+----------------+
| 18 | Failure to honor valid      | Reprimand      | Reprimand to   |
| .  | debts or legal obligations. |                | Removal        |
+----+-----------------------------+----------------+----------------+
| 19 | Making false, unfounded, or | Reprimand to   | 5-Day          |
| .  | highly irresponsible        | Removal        | Suspension to  |
|    | statements against other    |                | Removal        |
|    | employees, supervisors,     |                |                |
|    | other officials, or         |                |                |
|    | subordinates.               |                |                |
+----+-----------------------------+----------------+----------------+
| 20 | Any action or failure to    | Reprimand to   | 10-Day         |
| .  | take action based on race,  | Removal        | Suspension to  |
|    | color, religion, sex        |                | Removal        |
|    | (including sexual           | 5-Day          |                |
|    | harassment), age, or        | Suspension to  | 14-Day         |
|    | national origin of an       | Removal        | Suspension to  |
|    | employee, former employee,  |                | Removal        |
|    | or applicant which affects  |                |                |
|    | his/her rights, privileges, |                |                |
|    | benefits, dignity, and      |                |                |
|    | equality of economic        |                |                |
|    | opportunity. Consider       |                |                |
|    | circumstances and the       |                |                |
|    | effect on the person        |                |                |
|    | discriminated against, use  |                |                |
|    | of abusive language,        |                |                |
|    | violent treatment, or       |                |                |
|    | insulting demeanor.         |                |                |
|    |                             |                |                |
|    | If the discriminatory       |                |                |
|    | practice was deliberate.    |                |                |
+----+-----------------------------+----------------+----------------+
| 21 | Engaging in a prohibited    | Reprimand to   | Reprimand to   |
| .  | personnel practice (see     | Removal        | Removal        |
|    | Title 5, U.S.C., Section    |                |                |
|    | 2302), other than that      |                |                |
|    | described in Cause 20.      |                |                |
+----+-----------------------------+----------------+----------------+
| 22 | Harassing behavior that     | Reprimand to   | Reprimand to   |
| .  | falls under the definition  | Removal        | Removal        |
|    | of Harassment in BPA's      |                |                |
|    | Harassment-Free Workplace   |                |                |
|    | Policy, other than that     |                |                |
|    | described in Cause 20.      |                |                |
+----+-----------------------------+----------------+----------------+
| 23 | Use of abusive or offensive | Reprimand to   | Reprimand to   |
| .  | language toward a           | Removal        | Removal        |
|    | subordinate; baiting or     |                |                |
|    | otherwise inciting a        | 2-Day          | 5-Day          |
|    | subordinate to violate      | Suspension to  | Suspension to  |
|    | rules or regulations;       | Removal        | Removal        |
|    | coercion in deprivation of  |                |                |
|    | an employee's rights; or    |                |                |
|    | reprisal for employment of  |                |                |
|    | appellate procedure.        |                |                |
|    |                             |                |                |
|    | If violation was            |                |                |
|    | deliberate.                 |                |                |
+----+-----------------------------+----------------+----------------+
| 24 | Compromise or discredit of  | Reprimand to   | Reprimand to   |
| .  | examination materials or    | Removal        | Removal        |
|    | process.                    |                |                |
+----+-----------------------------+----------------+----------------+
| 25 | Unauthorized release of     | Reprimand to   | 14-Day         |
| .  | proprietary and/or          | Removal        | Suspension to  |
|    | confidential information.   |                | Removal        |
|    |                             | 14-Day         |                |
|    | When release of information | Suspension to  | Removal        |
|    | is intentional.             | Removal        |                |
+----+-----------------------------+----------------+----------------+
| 26 | Allowing unauthorized       | Reprimand to   | Reprimand to   |
| .  | persons into                | 14-Day         | Removal        |
|    | business-sensitive areas.   | Suspension     |                |
+----+-----------------------------+----------------+----------------+
| 27 | Discourteous conduct to the | Reprimand to   | 5-Day          |
| .  | public.                     | 5-Day          | Suspension to  |
|    |                             | Suspension     | Removal        |
+----+-----------------------------+----------------+----------------+
| 28 | Failure to work in a safe   | Reprimand to   | 5-Day          |
| .  | manner and to use required  | 5-Day          | Suspension to  |
|    | safety equipment or failure | Suspension     | Removal        |
|    | to carry out safety         |                |                |
|    | responsibilities (exclusive | Reprimand to   | 5-Day          |
|    | of Cause 7).                | Removal        | Suspension to  |
|    |                             |                | Removal        |
|    | Directing a subordinate to  |                |                |
|    | work in an unsafe manner.   |                |                |
+----+-----------------------------+----------------+----------------+
| 29 | A verified positive test    | Reprimand to   | Removal (for   |
| .  | result to a drug test       | Removal        | 2^nd^ Offense) |
|    | administered under          |                |                |
|    | Department of Energy        |                |                |
|    | Authority for use of        |                |                |
|    | illegal drugs, or refusal   |                |                |
|    | to submit to urine analysis |                |                |
|    | for drug testing. Note 2    |                |                |
+----+-----------------------------+----------------+----------------+
| 30 | A verified positive for use | Reprimand to   | Removal (for   |
| .  | of alcohol or refusal to    | Removal        | 2^nd^ Offense) |
|    | submit to alcohol testing   |                |                |
|    | under Department of         |                |                |
|    | Transportation's alcohol    |                |                |
|    | testing regulations         |                |                |
|    | covering safety-sensitive   |                |                |
|    | employees in commercial     |                |                |
|    | transportation. Note 3      |                |                |
+----+-----------------------------+----------------+----------------+
| 31 | Misuse or unauthorized use  | Reprimand to   | Reprimand to   |
| .  | of official time, vehicles, | Removal        | Removal        |
|    | funds and/or property:      |                |                |
|    |                             | 30-Day         | 30-Day         |
|    | a.  Non-willful misuse of   | Suspension to  | Suspension to  |
|    |     official vehicles       | Removal        | Removal        |
|    |     (e.g., repeated         |                |                |
|    |     violation of traffic    | Reprimand to   | Reprimand to   |
|    |     regulations or          | Removal        | Removal        |
|    |     administrative          |                |                |
|    |     regulations).           | 10-Day         | Removal        |
|    |                             | Suspension to  |                |
|    | b.  Willful misuse of       | Removal        |                |
|    |     official vehicles.      |                |                |
|    |                             |                |                |
|    | c.  Misuse of Government    |                |                |
|    |     property (not including |                |                |
|    |     official vehicles),     |                |                |
|    |     funds, or official      |                |                |
|    |     time.                   |                |                |
|    |                             |                |                |
|    | d.  Misuse of Government    |                |                |
|    |     property, funds, or     |                |                |
|    |     official time for       |                |                |
|    |     personal gain.          |                |                |
+----+-----------------------------+----------------+----------------+
| 32 | Other violations of         | Reprimand to   | Reprimand to   |
| .  | Standards of Ethical        | Removal        | Removal        |
|    | Conduct (including Part I   |                |                |
|    | of Executive Order 12674 or |                |                |
|    | 5 CFR 2635.                 |                |                |
+----+-----------------------------+----------------+----------------+
| 33 | Misuse of Federal           | Reprimand to   | 5-day          |
| .  | Government issued Travel    | 5-day          | suspension to  |
|    | Card                        | suspension     | removal        |
+----+-----------------------------+----------------+----------------+
| 34 | Misuse of Federal           | 5-day          | 14-day         |
| .  | Government Purchase Card or | suspension to  | suspension to  |
|    | non-travel credit card      | removal        | removal        |
+----+-----------------------------+----------------+----------------+
| 35 | Failure to advise           | Reprimand to   | Reprimand to   |
| .  | management when employee    | Removal        | Removal        |
|    | has been medically          |                |                |
|    | diagnosed as having a       |                |                |
|    | highly contagious illness   |                |                |
|    | (e.g., tuberculosis,        |                |                |
|    | meningitis, hepatitis "A",  |                |                |
|    | etc.) and employee's        |                |                |
|    | presence in BPA workplace   |                |                |
|    | could seriously affect the  |                |                |
|    | health of others.           |                |                |
+----+-----------------------------+----------------+----------------+

NOTES:

1\. If allegations charging such conduct are supported by a verified
positive drug test administered under DOE authority, procedures and
penalties cited under Cause 28 shall be applied. If allegations charging
such conduct are supported by a verified positive alcohol test
administered under Department of Transportation regulations, procedures
and penalties cited under Cause 29 shall be applied.

2\. An employee having a verified positive test result for use of an
illegal drug must be relieved of sensitive duties until cleared for
return by appropriate authorities. Such employees may be issued a notice
of removal from employment if he/she cannot be retained in his/her
position because of a specific job requirement to perform such sensitive
duties and there is no alternate work assignment available. A \"Verified
Positive Test Result\" means a test result that has been screened
positive by a Food and Drug Administration approved immunoassay test,
confirmed by a Gas Chromatography/Mass Spectrometry Assay, or other
confirmatory test approved by the Department of Health and Human
Services, and evaluated by a Medical Review Officer.

For further guidance on personnel actions concerning employee
involvement in the use of illegal drugs, see Order DOE 3792.3, Drug-Free
Federal Work Place Testing Implementation Program, found in BPA Manual
Chapter 400/792C, Drug-Free Work Place.

3\. A confirmed test result of more than 0.02 alcohol concentration will
result in the employee being removed from safety-sensitive functions and
disciplinary action being proposed based upon misuse or abuse of alcohol
and violation of Department of Transportation regulations. For further
guidance on personnel actions concerning alcohol testing of employees
covered by Department of Transportation's alcohol testing regulations,
see 49 CFR, Part 382, and Personnel Letter 793-1, Alcohol Testing
Implementation Plan.

#### **APPENDIX B** {#appendix-b .unnumbered}

##### PROCEDURES FOR APPROVING PAID NON-DUTY STATUS {#procedures-for-approving-paid-non-duty-status .unnumbered}

##### WITHOUT CHARGE TO EMPLOYEES DUE TO PENDING  {#without-charge-to-employees-due-to-pending .unnumbered}

##### ADVERSE ACTIONS AND OTHER SITUATIONS {#adverse-actions-and-other-situations .unnumbered}

The following procedures are used when an organization wishes to place
an employee in a paid, non-duty status.

1.  [When An Adverse Action (e.g., Removal, Demotion, or Suspension of
    14 or More Days) Has Been Proposed]{.underline}:

> A. The manager informs the Employee Relations staff in Personnel
> Services of the situation, ideally before it becomes a problem. If,
> after discussing the issue with the Employee Relations staff,
> management wishes to pursue placing an employee in a paid, non-duty
> status for such time is necessary to decide on the adverse action, a
> written request must be processed.
>
> B. The written request is initiated by the manager having authority to
> propose the adverse action and sent to the Manager for Human
> Resources, Diversity, and EEO, through the Employee Relations staff,
> for concurrence.
>
> C. The request must address the following:
>
> \(1\) Other alternatives that were considered (e.g., assigning the
> employee to different work or to a different work station, temporary
> work at home, etc.) but not used, and why they were not viable
> options;
>
> \(2\) Any action(s) already taken and the outcome(s);
>
> \(3\) Any medical documentation the employee or management has
> regarding the matter; and
>
> \(4\) Any notice the employee has been given addressing the matter.
>
> D. Within 1 business day of receipt, the Employee Relations staff will
> forward its recommendation to the Manager for Human Resources,
> Diversity, and EEO, who will act on the request promptly
>
> E. Following concurrence, the employee may be placed in a paid,
> non-duty status at the time the notice of proposed action is issued.
>
> F. Should the period of paid, non-duty status run significantly longer
> than 30 calendar days, the advisability of continuing that status
> should be discussed with the Employee Relations staff every 30
> calendar days.

2.  [When No Adverse Action Has Been Proposed]{.underline}.

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A.  Managers have delegated authority (unless retained at a higher level
    in accordance with the policy of any line organization) to place an
    employee in a paid, non-duty status when:

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(1) The employee's actual behavior has seriously and negatively impacted
    the workplace and the employee's continued presence is likely to
    aggravate the situation; or

> \(2\) The manager has a reasonable belief that the employee may
> exhibit behavior that will seriously and negatively impact the
> workplace
>
> B. This authority is limited to a maximum of three consecutive
> workdays, should be exercised only when other alternatives are not
> viable (see paragraph 1.C.1.), and may be exercised only after
> consultation with the Employee Relations staff. If prior consultation
> is not practical, the manager shall consult with the Employee
> Relations staff as soon as possible after the exercise of this
> authority.
>
> C. Once exercised, the authority may be extended beyond three
> consecutive workdays only after the prior verbal approval of the
> Manager for Human Resources, Diversity, and EEO is obtained (again,
> through the Employee Relations staff, and which may involve a meeting
> of the Crisis Intervention Team-- see Personnel Letter 752-2, Guidance
> on Violent and Threatening Behavior in the Work Place). Under no
> circumstances may the period of absence granted under this paragraph
> extend beyond that needed to initiate appropriate administrative
> action.
>
> D. Managers also have delegated authority to place an employee in a
> paid, non-duty status when there is reason to suspect, that the
> employee has a highly contagious illness (e.g., tuberculosis,
> meningitis, hepatitis "A", etc.) for which the employee's presence in
> the BPA workplace could seriously affect the health of others. This
> authority should be exercised only after consultation with BPA's
> Medical Program Manager. This authority is intended to be limited to
> the duration needed in order to medically document whether the
> employee has such a highly contagious medical condition. (Note: If the
> employee does not cooperate in providing such documentation, Employee
> Relations staff should be contacted for advice.) If the employee is
> confirmed to have such a highly contagious illness, the employee
> should be encouraged to use available leave or request leave without
> pay until a medical certificate releasing the employee to duty is
> provided to BPA; if the employee insists on being in a duty status,
> either in the absence of, or in violation of, a medical release
> certification, Employee Relations staff must be contacted immediately
> to determine the appropriate course of action.

#### **APPENDIX C** {#appendix-c .unnumbered}

##### ORAL REPLY GUIDE {#oral-reply-guide .unnumbered}

A.  **Purpose of Oral Reply**

    Oral reply proceedings are primarily for the purpose of affording
    the employee an opportunity to make an oral plea that he/she
    believes may sway the decision in his/her favor.

    The right of personal reply does not entitle employees to an
    adversary-type hearing, nor does it contemplate confrontation of
    witnesses. Oral reply proceedings will be conducted in an informal
    and orderly manner. They are not hearings and should not be allowed
    to develop into hearing-type or adversary-type proceedings. BPA does
    not present or argue its case. Judicial procedures and rules of
    evidence do not apply and only those persons who have a connection
    with the case, as determined by the Oral Reply/Deciding Official,
    will be admitted.

    The employee and/or representative will be permitted to present the
    case freely, and will have the right to furnish any additional
    affidavits in support of the case. During the proceedings, the Oral
    Reply/Deciding Official will take whatever action is necessary to
    ensure an orderly, expeditious, and equitable presentation by the
    employee and/or representative.

######## Oral Reply Proceeding

Oral Reply/Deciding Official (with assistance from the Employee
Relations staff, as needed) will:

1\. Introduce the parties present (e.g., an Employee Relations
Specialist is present in order to answer any technical questions about
the procedure and to prepare a written summary of the oral reply
presentation for the file).

2\. Explain that the purpose of the oral reply is to provide the
employee an opportunity to personally respond to the reasons for the
proposed action, and to state his/her thoughts and position in regard
thereto.

3\. Explain the functions of the Oral Reply/Deciding Official:

a.  To serve as presiding officer, and to assure an equitable, orderly,
    and expeditious proceeding.

b.  To assure that full facts are developed, and that the employee is
    permitted to make any representations believed to be appropriate.

c.  To review the entire case file, including affidavits introduced, and
    representations made at these proceedings.

d.  To make a final decision.

    4\. Proceed with the oral reply.

    5\. During presentation of the employee's oral reply:

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a.  Encourage the employee and/or representative to speak freely and to
    present any and all information they feel will affect the decision.

b.  Elicit information at any point in the presentation, which is
    necessary for a full exposition of the employee's case.

c.  Guard against posing questions, which may reflect evaluative
    judgments.

    6\. Close the oral reply proceedings.

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a.  At this point, attempt to clarify those areas that may still remain
    unclear.

b.  Inform the employee and/or representative that the key points of
    their presentation will be summarized for the file.

c.  Inform the employee and/or representative that the final decision
    will be made and furnished in writing to the employee and/or
    representative.

d.  Ask the employee and/or representative if they feel they had a full
    and fair opportunity to make their oral presentation.

[^1]: See Personnel Letter 432-1, Taking Action Based on Unacceptable
    Performance.

[^2]: See definition of adverse action in Section V of this Personnel
    Letter.